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Investment Adviser Performance and Advertising The Fundamentals and Spotting Red Flags

February 7, 2012
1:00 PM – 3:00 PM ET

Description:

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.  Advertising and performance often present complex issues for all advisers, as well as many traps for the unwary, frequent exam deficiencies and, in the worst cases, potential for SEC enforcement actions. The SEC has devoted considerable attention to how and under what circumstances investment advisers may advertise their services and present performance to clients.  This session is designed to help advisers avoid the common pitfalls and understand the fundamental advertising rule requirements and the many SEC no-action letters covering testimonials, partial client lists, websites, presenting gross and net performance and the numerous required and recommended disclosures for advertising and performance materials. A brief overview of GIPS® is also included.

Learning Objectives:

After attending this course, attendees should be able to:

  • Use the specific SEC advertising Rule as well as performance presentation requirements to accurately disclosure the firm’s operations and performance
  • Maintain required performance and advertising records
  • Identify important and diverse SEC no-action letters covering advertising and performance to gain guidance beyond the rule requirements
  • Use practical tips and checklists to effectively review advertising and performance materials for compliance and to develop policies and procedures

For Whom: Chief Compliance Officers, Internal auditors, Compliance Staff at all levels, Marketing personnel, Legal counsel, Management

Suggested Skill Level: Basic to Intermediate

Instructional Method: Group-Internet-Based and Group-Live

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Section 206 & Rules 206(4) – 1 (Advertisements) & 204-2 (Books & Records) to become familiar with the structure and terms.

Continuing Education Credits:
See NRS Continuing Education Guide
Recommended CPE Credit: 2

Order this Desktop on Demand

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